iCapital Network
Regulatory and Compliance - Associate
$70K–$95K
New York, New York, United States +1 · Full-time · Posted Aug 19, 2026
- Location
- New York, New York, United States
Greenwich, Connecticut, United States - Experience
- 2-5 years of registered investment adviser experience; regulatory filing preparation is preferred.
About the job
Prepares and manages U.S. and international regulatory filings and supports compliance processes, regulatory monitoring, and related operational improvements.
What you'll do
- Collects and aggregates data for regulatory filings, including Form ADV, Form PF, BE-185, Form SLT, Form 45-106F1, and Regulation D and blue-sky filings.
- Develops and updates filing procedures and monitors regulatory developments for their impact on the company’s activities and reporting requirements.
- Works with stakeholders to improve data quality and processes, informs senior management of material changes, and assists with ad hoc compliance matters.
What they ask for
- 2-5 years of registered investment adviser experience, preferably preparing regulatory filings.
- Experience with alternative investments and compliance restrictions around private placements, including SEC filings for private funds.
- Able to manage multiple deadlines and projects.
- Proficiency in Microsoft Excel and Microsoft Word.
Pay
USD 70,000 to USD 95,000 base salary
Tools
Microsoft Excel, Microsoft Word, Form ADV, Form PF, BE-185, Form SLT, Form 45-106F1, Regulation D
Model-written summary · the original posting is authoritative